Arjun N. Oza
Professional summary
Arjun Nandan Oza is a registered financial professional currently at B. RILEY SECURITIES, INC. located in New York, New York.
Arjun is registered as a RR (Registered Representative) and started their career in finance in 2021. Arjun has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Arjun Nandan Oza's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 30, 2021 - Present
B. RILEY SECURITIES, INC.
Office #1: 299 Park Avenue 21st Floor, New York, NY 10171State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/6/2024)
Exams
Series 79TO
Date: 7/29/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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